TITLE

SEC's Barbash Reviews New Investment Adviser Regulation

AUTHOR(S)
Thompson, Duane R.
PUB. DATE
August 1997
SOURCE
Journal of Financial Planning;Aug1997, Vol. 10 Issue 4, p50
SOURCE TYPE
Academic Journal
DOC. TYPE
Interview
ABSTRACT
Interviews Barry P. Barbash, director of the Division of Investment Management for the U.S. Securities and Exchange Commission, concerning the implementation of the National Securities Markets Improvement Act. Information on the significant changes in the ADV form; Kinds of challenges facing the Division of Investment Management; Impact of the new regulatory landscape on the financial planner/investment adviser business environment.
ACCESSION #
9708310923

 

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